seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
……………………………………………………… By (name of the organization)...…………….(attachment)(if any) O No 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with
)...…………….(attachment)(if any) O No (Translation) 2.2 For the past 3 years prior to the application filing (1) Was imprisoned by final judgement in offence against property committed with dishonest intent: O Yes (please
or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment
[i] being accused by the SEC Office or being prosecuted as a result of such accusation or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the
be an executive of a licensed securities and derivatives business, fill in every part; Part 1 6.1 Being or having been a bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the
bankrupt: O yes O no 6.2 Having been imprisoned by a final judgement of the court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person